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ABA 2008 Entertainment & Sports Forum: Ethical Issues in Managing Client Investments – State Bar Compliance

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Tracy Nickl is Managing Director of Wealth Management for the Bank of New York Mellon’s Southern California office.

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In this segment of a panel discussion held at a 2008 meeting of the American Bar Association, the panelists explain the difficulties posed by state bar requirements when giving investment advice to clients, and what could happen an attorney if a deal goes bad.

Shoot Date:
October 2008
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